Delray Beach Compliance Summit

	Peter Driscoll, Keynote Speaker Director U.S. Securities and Exchange Commission’s OCIE Peter Driscoll was named Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) in October 2017, after serving as Acting Director since January 2017. Before that, he served as OCIE’s first Chief Risk and Strategy Officer since March 2016, and was previously OCIE’s Managing Executive from 2013 through February 2016. He joined the Agency in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program. Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.

	David Lui Past Chairman of the National Society of Compliance Professionals and Co-Editor Modern Compliance David leads the Contract Strategy and Negotiation Team at Galliard. The Contract Team is responsible for implementing management initiatives with respect to stable value investment contracts and other client contracts. In addition to his role at Galliard, David is a nationally recognized speaker on compliance issues. David earned a B.A. in History from Brown University and a Juris Doctor from the University of California, Hastings College of the Law.

	Les Abromovitz Senior Consultant NCS Regulatory Compliance Les Abromovitz serves as a senior consultant with NCS Regulatory Compliance. He has managed publishing and compliance consulting projects for the firm since 2003. Les is responsible for conducting compliance reviews of web sites, marketing materials, social media communications, presentations, brochures, books, blogs, newsletters, proposals, radio programs, commercials, YouTube videos, and performance reports, as well as performance advertising. In addition, Les is a contributor to the NCS Regulatory Compliance monthly compliance newsletter. Les is the author of two books on compliance for investment advisers, which were published by National Underwriter/Summit Business Media. Les is a member of the Pennsylvania bar.

	Dan Klein President and CEO Sage Marketing Dan is a seasoned Marketing and Practice Management Executive with more than 20 years of experience in the Financial Services Industry. He has built a business as a Financial Advisor and Branch Manager, as well as led the Professional Development, Financial Planning, Fee Based/Managed Accounts, Marketing, Business Development and Practice Management departments at several firms. He was recognized as one of the top Branch Managers in “On Wall Street” magazine and has implemented various Business Development programs nationally with sustainable, proven results. Dan is a Certified Financial Services Coach, has earned his ACC designation from the International Coaching Federation, and has completed the Certified Professional Coach program at the University of Miami. Dan is a recognized industry thought leader and is regularly quoted in industry publications. Dan was most recently the Executive Vice President at Platinum Strategies, a digital marketing firm located in Florida. He was responsible for the oversight of all departments at the company including sales, production, web-design and consulting for their 1200+ clients.